- Mizuho Corporate Bank (New York, NY)
- Responsibilities: Support direct team manager for all onboarding processes: + Manage daily onboarding requests for all divisions of Mizuho + End to end onboarding ... 2111, AML Wolfsberg Questionnaire, Accelerated Onboarding Sheets & 151 Prime Broker Agreements). + Ability to understand an Investment Advisor's organization… more
- BMO Financial Group (New York, NY)
- …Income Compliance team in New York with a focus on FINRA and SEC broker -dealer requirements and corresponding oversight. We are looking for someone to work closely ... audits and examinations. + Provides regulatory perspective on business group's sales and marketing materials. + Anticipates/ identifies and analyses risk and… more
- Carrington (Albany, NY)
- …parties as required to resolve outstanding issues. + Communicates with Sales Management, Account Executives, Operations Manager , Disclosure Department, ... as required to resolve outstanding issues. + Informs Account Executive, Broker , and/or borrower about discrepancies in title, appraisals, credit, employment, income… more
- Siebert Williams Shank (New York, NY)
- …in New York and Oakland. SWS is a perennial leader as a co- manager of investment-grade corporate debt, a national leader in public finance investment banking, ... and successful share repurchase agent. All activities are supported by a robust secondary sales and trading platform, and a sound regulatory capital base. We are a… more
- TD Bank (New York, NY)
- …businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading, and prepare business personnel for meetings with ... + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Lincoln Financial (Albany, NY)
- …strong relationships, and ability to execute effectively. This is not a project manager role. **What you'll be doing** What you'll be doing * Provides specialized ... business unit and individual. Other rewards may include long-term incentives, sales incentives and Lincoln's standard benefits package. **About The Company** Lincoln… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge of global ... financial institutions' operational, financial, sales and trading, and regulatory reporting activities and their...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more